KB
Kevin L. Baumberger
EAGLE STRATEGIES LLC
INDEPENDENCE, OH 44131
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CRD#: 2570723
KB
Professional summary
Kevin Lee Baumberger is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Independence, Ohio and NYLIFE SECURITIES LLC located in Independence, Ohio.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
[K & N LLC; HOME IN SOUTH DAKOTA-3216 TEEWINOT RAPID CITY SD 57703, RENT IT OUT ON A MONTHLY BASIS AND RECEIVE RENT PAYMENTS AS PASSIVE INCOME; 1483 CENTENNIAL DRIVE LODI CA 95242 (ADMINISTRATION OF PROPERTY); START DATE 05/2012; ROLE/TITLE: OWNER; NOT INVESTMENT RELATED; 1 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [K & N Hillside LLC; land in South Dakota-24575 Medicine Root Road Hermosa SD 57744 to some day build a second home.; 1483 Centennial Drive Lodi CA 95242; Start Date 05/2019 (administration of LLC); Role/Title: Owner; Investment Related; 4 hours per month; 0 hours per month during securities trading hours] [K&N Cabin LLC; We are looking to purchase land with a Cabin on it in Hermosa South Dakota from my In Laws. We would rent it as a VRBO during the summer months of the year.; 1483 Centential Drive Lodi CA 95242; Start Date 12/2019; Role/Title: Owner; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours][Cornerstone of Hope ; Bereavement organization helping people cope with the loss of someone close or a loved one ; 5909 Brecksville Road Independence Ohio 44131; Start Date 01/2025; Role/Title: Board Member; Not Investment Related; 4 hours per month; 1 hours per month during securities trading hours; Strategic Planning committee helping with the expansion, growth and addition of staff to provide additional services and / or the organization foot print in the community]
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Lee Baumberger's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 14, 2012 - Present
EAGLE STRATEGIES LLC
Office #1: 6100 Oak Tree Blvd. Suite 300 Suite 300 Oh 441, Independence, OH 44131RIA
CRD#: 110826
INDEPENDENCE, OH
Current
July 19, 1996 - Present
NYLIFE SECURITIES LLC
Office #1: 6100 Oak Tree Blvd. Suite 300, Independence, OH 44131-6970BD
CRD#: 5167
Independence, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/29/2014)
RR
Florida(7/18/2025)
RR
Ohio(5/19/2024)
IAR
Ohio(6/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
51 Madison Avenue 12th Floor, New York, NY 10010
Mailing Address
51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010
Phone number
(888) 695-3245
Established
Firm type
Fiscal year end
# of Employees
2,804
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
